Office of Guidance and Oversight A&E Oversight Branch 1120 N - PDF document

9/18/2017 Office of Guidance and Oversight A&E Oversight Branch 1120 N Street, Sacramento CA 95814 LOCAL ASSISTANCE PROCEDURES MANUAL EXHIBIT 10-C TRAINING September 2017 OFFICE OF GUIDANCE & OVERSIGHT A&E Oversight Branch Ray Zhang Chief Division of Local Assistance Erwin Gojuangco Acting Chief Office of Guidance & Oversight Felicia Haslem A&E Oversight Manager Quang Nguyen Sukh Nagra Mohammad Maljai The Pham Districts Districts Districts Database/Support 1, 2, 3. 4 5, 6, 9,10 7, 8, 11,12 2 1

9/18/2017 Objective Help Local Public Agencies (LPA) comply with A&E procurement procedures 3 Outline  WHY is this training important?  FHWA has identified the A&E procurement as “high risk.”  Caltrans Audits & Investigations – Audit Findings.  WHAT is new?  A completed Local Assistance Procedures Manual (LAPM) Exhibit 10-C for new or amended federal and/or state funded A&E consultant contracts must be accepted by Caltrans prior to contract award.  Procedure and timeline for the A&E 10-C Compliance Action Plan (10-C CAP) were established and effective October 1, 2017 . Any consultant contracts are to be compliant or funding may be withdrawn.  HOW to comply with State/Federal Regulation ?  Follow Exhibit 10-C. 4 2

9/18/2017 Summary of Performance Measures Report 5 Flowchart for Submittal and Acceptance of Exhibit 10-C Local Public Agency (LPA) Submit completed 10-C to aeoversight@dot.ca.gov Caltrans Division of Local Assistance (DLA) Office of Guidance & Oversight (OGO) 5-day 10-C Reviews DLA – OGO Notifies (via email) LPA and copy to DLAE of the No is 10-C Non-acceptance of 10-C acceptable? requesting LPA to provide additional information or re-advertise the contract. Yes DLA-OGO Notifies (via Note: LPAs must email a email) LPA and copy DLAE copy of all contract of the acceptance of 10-C amendments to DLAE 6 3

9/18/2017 Unrecoverable Deficiencies The following are considered unrecoverable deficiencies and shall result in the withdrawal of all or a portion of the federal and/or state funds from the project: • No records or documentation to support consultant procurement. • No support for scoring and/or ranking of consultants. Two or more of the following are considered unrecoverable deficiencies and shall result in the withdrawal of all or a portion of the federal and/or state funds from the project: • No justification for sole-sourcing. • Could not support contract was advertised at all. • No independent cost estimate performed. • Local preference used. • Price used as an evaluation factor. • Scoring evaluation factors or weights do not match those identified in the RFQ/RFP. • Did not include any evaluation factors in the RFQ/RFP. • Cost proposal does not break down job classifications and types of costs by amount and/or rates. • Missing Title VI requirements [per Title 23 CFR 172.9 (c) (1) (vi)] from contracts (Federal Funded Only). • Missing DBE requirements [per Title 23 CFR 172.9 (c) (1) (vii)] from contracts (Federal Funded Only). 7 A&E Consultant Contract Reviewer Checklist (Exhibit 10-C) Procurement Section A Planning Solicitation Section B Documents and Advertisement Evaluation and Selection Contract Cost Section C Negotiation Contract Execution 8 4

9/18/2017 Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database 9 A. Procurement Planning 10 5

9/18/2017 Estimating Techniques High Accuracy Bottom-up Estimate Parametric Estimate Analogous Estimate Less Accuracy Perception Fact 11 B. Solicitation Documents and Advertisement 12 6

9/18/2017 B. Solicitation Documents and Advertisement Example for Criteria and Weights 13 B. Solicitation Documents and Advertisement 14 7

9/18/2017 B. Solicitation Documents and Advertisement 15 C. Evaluation and Selection 16 8

9/18/2017 C. Evaluation and Selection 17 Cost Proposal Example 18 9

9/18/2017 Cost Proposal Example (Continued) Total Direct Labor Cost Total Indirect Cost Total Direct Labor Cost 19 C. Evaluation and Selection 20 10

9/18/2017 C. Evaluation and Selection e.g.: Performance Period; Allowable Costs and Payments; Termination; Cost Principles and Administrative Requirements; Retention of Records/Audit; Audit Review Procedures; Subcontracting; … 21 C. Evaluation and Selection 22 11

9/18/2017 C. Evaluation and Selection 23 Required Certification 24 12

9/18/2017 Submittal Process for A&E Consultant Contracts Local Public Agency Submittal Process (via email) Caltrans Caltrans Division of Local Assistance (DLA) Division of Audits & Investigations Office of Guidance & Oversight (A&I) (Exhibit 10-C Reviews) ( Financial Reviews & ICR Reviews) conformance.review@dot.ca.gov aeoversight@dot.ca.gov Contract Execution 25 Changes to Request for Authorization forms 3A 3B 3C 3D and 3Q  Indicate 10-C acceptance/date for the project  If using an on-call contract, provide original date of 10-C acceptance 26 13

9/18/2017 References  Caltrans Local Assistance A&E Oversight: “Consultant Selection and Procurement” http://www.dot.ca.gov/hq/LocalPrograms/AE/index.htm  Caltrans Local Assistance Procedures Manual (LAPM), Chapter 10: “Consultant Selection” http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch10.pdf  State code 4525-4529: “Contracting with A&E Firms” http://www.aiacc.org/wp-content/uploads/2016/03/Government-Code-4525-4529.pdf  Title 23 United States Code Section 112 (23 USC 112): “Letting of Contracts” https://www.gpo.gov/fdsys/granule/USCODE-2011-title23/USCODE-2011-title23-chap1-sec112  40 USC Chapter 11, Sections 1101-1104 : “Selection of Architects & Engineers (Brooks Act)” http://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim  Caltrans Local Assistance Procedures Manual (LAPM), Chapter 3: “Project Implementation” http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch03.pdf  Caltrans Local Assistance Procedures Manual (LAPM), Chapter 20: “Deficiencies and Sanctions” http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch20.pdf  48 CFR Part 31: “Contract Cost Principles and Procedures” https://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+48%2FChapter+1%2FSubchapter+E %2FPart+31&granuleId=CFR-2011-title48-vol1-part31&packageId=CFR-2011-title48- vol1&collapse=true&fromBrowse=true&collectionCode=CFR  2 CFR Part 200 Subpart D: “Uniform Administration Requirements for Grants and Cooperative Agreements to State and Local Governments”. https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1  49 CFR Part 26: “Participation by Disadvantaged Business Enterprises (DBE) in Department of Transportation Financial Assistance Programs” https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl  Title 23 Code of Federal Regulation, Part 172 (23 CFR 172): “Procurement, Management, And Administration Of Engineering And Design Related Services” (August 17, 2017) https://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=23:1.0.1.2.3 27 Caltrans Local Assistance A&E Oversight 28 14

9/18/2017 Office of Guidance and Oversight A&E Oversight Branch Thank You Felicia Haslem A&E Oversight Program Manager (916) 653-7759 Quang Nguyen Sukh Nagra Mohammad Maljai The Pham (916) 653-6230 (916) 651-8915 (916) 651-6552 (916) 653-4342 Districts Districts Districts Database/Support 1, 2, 3, 4 5, 6, 9, 10 7, 8, 11, 12 29 15